FINRA Supervisory Principal – PNC Investments
| Company | PNC Financial Services |
|---|---|
| Location | Pittsburgh, PA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Entry Level/New Grad, Junior |
Requirements
- FINRA Series 7/66 (63/65) required
- FINRA Series 24 (9/10 equivalent) required
- University/college degree or equivalent experience required
- Knowledge, skills, and abilities relevant to the role
Responsibilities
- Partner with regulatory risk manager to execute regulatory risk initiatives
- Ensure appropriate documentation is completed
- Identify potential audit issues and communicate execution plans
- Participate in regulatory and audit meetings
- Interact with lines of business and partners to monitor execution of regulations
Preferred Qualifications
- Compliance Reporting
- Customer Risk
- Decision Making
- Regulatory Requirements
- Risk Assessments
- Risk Control
- Strategic Objectives